Bay Area Toll AuthoritySmarprProg - PDF document

1 Bay Area Toll AuthoritySmarprProg Table
Bay Area Toll AuthoritySmarprProg Table of ContentsTIVENEAL REENTSA.1ObjectivesA.2ApplicabilityA.3finitTIVE EQUIENTSB.1Progm UpdB.2SBELO and tionB.3Certification Standards and E DireiesB.4quirmentsB.5OutreacSUBPART C EVALUATION PREFERENCE AND SBE PARTICIPATIONC.1Evaluation PreferenceC.2taining ionC.3Substiution istd Sub C.4JointureAgrntsC.5CountE PaipatPLIANENTD.1MonitoringD.2BE UizaionD.3SBE Program EnmentCONTRACTContract MiscSBESBE ProgramsBATABATA SBE Program_Final_032520.docx ��BATASBE ProgramPage TIVr to ptuniresidents and businesss, stimulte onomiclopmnt in the San Francisco Bay Area Region, theBay Area Toll AuthorityBATAherebystablisheSmall Business Enterprise (SE) SBEProgram”or “Program”assist firmsin rticipingBATAfederally funded, nonarchitectural and engineering (A&E)materials, equipment, supplies, services and constructioncontractsThis Program is t usingthe por of the public puto stimulateonomiclopmnt.Theobjes of theSBE Prolude:To inumberrtifid SBEs paipatiin federally fundedA&E contracts; To increase overall competition on federallyfundedA&Econtractspotentially allowing for the completion of projects at a lower overall cost;levwhiompetey fundensurethatSBErms(prime Consultant/ontractor Subconsultant/Subcontractorendorting the Program’s eligibility requirementseligible for the Evaluation Preferenceallowed under the Program To hlp rmove brs o the prticipon of Es in nofunded ontrandTo identify business enterprises that are qualified as SBE’s and are qualified to provide BA

2 TAwith required materials, equipment, su
TAwith required materials, equipment, supplies and servicesTheDirector of Administration & Facilities Services Section (AFSsignateds the ison ). thatthe AFS Directorsponsblefor menting speof the m. Implementation of the SBE Program is intended to be consistent with the MTC Disadvantaged Business Enterprise (DBEProgram. ��BATASBE ProgramPage ENEAL REENTS A.1ObjectivesTheobjein statment n the irst pof this A.2ApplicabilityBATAstatelocfunds.As a ionstanin ompianwithropoionBATAshallmentthisProgram withoutonsidon of r, or thnThistheiesplemntedBATAconfirmthatsmall businesses have the maximum opportunity to participate in BATAnonfederally funded materials, equipment, supplies, services and constructioncontractshen a nonfederally funded, nonA&Econtract is awarded to Consultant/ContractorVenbased on the valuationreference described in C.1 of this Program, the Consultant/Contractor/Vendormust adhere to all the requirements included in this ProgramThis Program appliessolely to nonfederally funded, nonA&Ematerials, equipment, supplies, services and constructioncontracts. A.3finitonsBATAfollowingfinitsted blowforSBErog 1st TSubconsultant/Subcontractorendorubconsultant or subcntrtor to a Consultant or Contractor. ndTier Subconsultant/SubcontractorendorA subconsultant or subcontractor to a 1Tier subconsultant or subcontractor. AFSAdministrative and Facilities Services Section. BATABay Area Toll Authority BidThe offer of the bidder for the construction project when completed and submitted in response to

3 an IFB on the prescribed bid form. Bid
an IFB on the prescribed bid form. Bid PreferenceThe application of a percentage discount to the total amount of a bid submitted by a Bidder for a ontract solely for the purpose of bid comparisons when determining the lowest and best bid, or lowest responsible bid. The use of a bid preference for bid comparison does not alter the total amount of the bid submitted by a bidder or the contract executed based on a bid. BusipliAn individl or business ntithatmaks avblein commodi tingmand or foriven p Civil ConstructionCivil Constructionis a segment of the broaderconstructionindustry focused on building core infrastructure such as highways, roads, bridges, telecommunications, subway ��BATASBE ProgramPage �� &#x/MCI; 0 ;&#x/MCI; 0 ;tunnels, light rail transit lines and public buildings. Commercially Useful Function (CUF)SBE performs a commercially useful function when it is responsible for the execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. ASBE does not perform a CUF ifit does not perform or exercise responsibility for at least 0 percent of the total cost of its contract thatwould be expected on the basis of normal industry practice for the type of work involved. If, inBATA’s judgment, theSBEdoes not perform a CUF in the transaction, no Evaluation Preference will be awarded. unityBased Oganizaionrnmnt ted to povide trining mplnt or community ssistan ConsultantContractor/Vend

4 orTheindividual,rtnrship, rpotion,joit v
orTheindividual,rtnrship, rpotion,joit ventuor other l entinteinto atualment with BATA Evaluation PreferenceThe tion ofor point preference to the total evaluation score of a Proposerprocurement or solicitation,solthe prposeroposalor SOQompaisons whminingthe highest ranked roposalor SOQ. The use an Evaluation Preferenceforroposalor SOQompaison will alter the total percentage or points allottedto the Proposer. Invitation for Bid (IFB) Invitation for Bid issued by BATAfor construction services. anuturirm t opetes intinsfacor stabishmnt tht produs on the s the materils or supplies pu MTCMetropolitan Transportation Commission. onitoThestablishedsureomplianwiththeProgram. ostThe meeting held between BATAand Consultants/ontractors/Vendorsafter the award of a Professional Serviceor ivil onstruction project and before contract executionPost award meetings occur at the request of either BATAor Consultant/ontractor/Vendor Professional Serviceany nonpublic works service(s)Professional Services contracts may contain a minor public works component Proposer Consultant/Contractor/Vendorsubmitting a roposal or SOQ in response to a RFP or RFQ. Proposal An ffer of roposer to provideProfessional Services, in response to RFP. Request for Proposal (RFP)RFPissued by BATAfor rofessional ervices. Request for Qualifications (RFQ)RFQissued by BATAfor Professional Service SBE ProgramThe BATASBE Program. ��BATASBE ProgramPage mall usiness Ente(SBE)firm that meets the requirements set forth in Sectio

5 n B.3 Certification Standards and E Dir
n B.3 Certification Standards and E Direies SBE BrokerSBE Broker is a firm that is not a vendor butis providing assistance in the procurementof required materials or supplies. SBE Dealer SBE Dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Agreement are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. The firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. E DiThe list of firms rtifiunder any of the programs outlinedin Section B.3 Certification Standards and E Direieswhich is used by BATAand its Consultants/ontractors/Vendorsto identify potential SBEonsultants/ontractors/Vendorsand ubconsultants/ubcontractorsendors and suppliers. SBELOSmall Business Enterprise ison SOQ A statement of qualifications submitted by a Proposerin response to aRFQ. SubcontractA contract entered into between a Consultant/Contractor/Vendorwith a ubconsultantubcontractorendor Subconsultant/SubcontractorSubvendorTheindividual, prtnrship, rpotionother ntiy that ontrts to prt ofor ll ofobligtions ofnotheontra Subrecipient Any agencythat receives funds from BATAvia statute, an interagency, cooperative or funding agreement. UtilizationPercentage of total dollars of a type of work go

6 ing to SBEs. d DivrsiThe diversity tr
ing to SBEs. d DivrsiThe diversity tracking oftware provided by BATAto Consultants/Contractors/Vendorsaccessible from any internet browser on any platform or operating system ��BATASBE ProgramPage TIVE EQUIENTS B.1Progm UpdThe SBELO or designee willovidetheappropriate authorizing boardwith tesng snifiin theB.2SBELO and tionBATAs dested towingindvidual isonO):Director of Administration and Facilities Section (AFS)Metropolitan Transportation Commission 375 Beale St, Suite 800San Francisco, CA 94105Phone: (415) 778Email: contracts@bayareametro.gov thatthesponsblefor plemspetheSBE nsurig thatBATAompieswithvisof the SBEProgram. ThedirindeptheExecutive Director ningSBEm matteThesponsbleforlopmentingmontoringthe, inoordinwithothpproials. Thestaffin the nistheSBEogrm. Thesponsies inlude theowintheports stl data nd othr inmation as quirvientrrequisforompianwithSBE ogr ks with AFS staff to determine if a Proposer/Bidderhas achieved the requirements for the Evaluation PreferenceConfirmsthatof procurement solicitationsBEsy mannqualified ts and nts o that preferences are included in all applicable procurementsBATAs towrd SBE nt and s to mprorticiptes in prproposal/prebid AdvistheExecutive Director nd/or the appropriate authorizing boardmattehievnt.rovids outrh to Es CBOsto dvise them of oppotunand technical assistance to Es to assist in roposalSOQ and/or bid preparation and obtaining bondingnd insu ��BATASBE ProgramPage �� &#x/MCI; 0 ;&#x/MCI; 0 ;B.3Certification Standard

7 s and DireiesBATAdoes not administer an
s and DireiesBATAdoes not administer an SBE certification program. To be eligible for the Bid/Evaluation Preference allowed under the SBE Program, firms(prime ontractor or Subconsultant/Subcontractorendormust bertifiunder any of the programs outlined belowCalifornia Certified Small Business as certified by the California Department ofGeneral Services (DGS) Procurement Division (PD) Office of Small Business andDisabled Veteran Business Enterprise Services (OSDS)he State of California SBE Diry can bessedat: https://caleprocure.ca.gov/pages/PublicSearch/suppliersearch.aspx A Disadvantaged Business Enterprise (DBE) as certified by the California UnifiedCertification Program (CUCP)The CUCP Directory can be accessed at:https://dot.ca.gov/programs/businessandeconomicportunityCity and County of San Francisco Local Business Enterprise (LBE) as certified by the Contract Monitoring Division (CMD) Directory Certification UnitThe Directory of Certified LBEs can be accessed here:https://sfgov.org/cmd/directorycertifiedlbes Alameda County Small Local and Emerging Business (SLEB) program as certified by the Alameda County SLEB Certification UnitThe SLEB Supplier QuerySystem Database can be accessed at:https://www.acgov.org/sleb_query_app/gsa/sleb/query/slebresultlist.jsp?smEmInd=C DVBE/LBE/LGBTBE/MBE/SBE/WBE certification from a formal certifying agency in the nine county Bay Area, provided that the certification can be verified through a searchable database and meets the requirements of the State of California Small Business Pr

8 ogram(Disadvantaged Veteran Business Ent
ogram(Disadvantaged Veteran Business Enterprise (DVBE), Local Business Enterprise (LBE), Lesbian, Gay, Bisexual, Transgender Business Enterprise (LGBTBE), Minority Business Enterprise (MBE), Small Business Enterprise (SBE), Women Business Enterprise (WBE))Note: er Title 2, California Code of Regulations,§ 1896.12. Eligibility for Certification as a Small Business. To be eligible for certification as a small business, a business must meet all of the following qualifying criteria: (1) It is independently owned and operated; and (2) Itsprincipal office is located in California; and (3) The officers of the business (in the case of a corporation); officers and/or managers, or in the absence of officers and/or managers, all members in the case of a limited liability company; partners in the case of a partnership; or the owner(s) in all other cases, are domiciled in California; and (4) It is not dominant in its field of operation(s), and (5) It is either: ��BATASBE ProgramPage (A) A business that, together with all affiliates, has 100 or fewer ployees, and annual gross receipts of fifteen million dollars ($15,000,000) or less as averaged for the previous three (3) tax years, as biennially adjusted by the Department in accordance with Government Code § 14837(d)(3) (If the business or its affiliate(s) has been in existence for less than three (3) tax years, then the GAR will be based upon the number of years in existence); or (B) A manufacturer as defined herein that, together with all affiliates, has

9 100 or fewer employees. B.4quirments
100 or fewer employees. B.4quirmentsWhen a nonfederally fundedA&Econtract is awarded to a Consultant/ontractor/Vendorbased on the Evaluation Preferencelisted in Subpart C, Section C.1 of this SBEProgam, AFS will monitor the contract per Subpart D, confirmthattheConsultants/tors/Vendorsompianwithmentsof the SBEProgramAFSff wiportrticipthe appropriate authorizing boardvia reportted fm the wrsiBATAquire Consultants/Contractors/Vendorsmaintainumentsmentsall ubconsultants/ubcontractorsendorsand nonSBEsforfour(4)followithecompletionontrt. BATArimreviewsontrmentsEs.Payments to SBE ubconsultants/ubcontractorsendorswill be viewto verifythat the tual mount pid toubconsultants/ntrtors/Vendorsls or ds themounted in schdule of rticipincluded in the contractB.5OutreacBATAwill rticipte inoutrnts with oSan Francisco nsportiesCBOs to levts st SBEms.BATAwill lso paipatein ns’ CaMentorrotm forsmall bsiness dlopnt. ��BATASBE ProgramPage SUBPART C EVALUATION PREFERENCE AND SBE PARTICIPATION C.1EvaluationPreference BATAwill allow aevaluationpreference to be applied as a percentage discount to the total amount of a proposal/bid submitted by a Proposer/Bidder for a contract solely for the purpose of bid comparisons when determining the lowest and best bid, or lowest responsible bid. The use of aevaluationpreference for Proposal, SOQ, or Bid comparison does not alter the total amount of the bid submitted by a bidder or the contract executed based on a bid. The SBE Program evaluationpreference will be applied to all

10 locallyfunded solicitations when issued.
locallyfunded solicitations when issued.The valuation reference applied as a or point preference to the totalevaluation percentage or pointsof aProposalSOQ, or BidsubmittPropos/Bidderontrwill be solthe prposeevaluation ompaisons whminingthe highest ranked Proposal or SOQ. The use valuationreference forProposalSOQor Bidompaison willalterthe total evaluation percentage or points allotted to aProposer/BidderThe valuation reference will be applied to all nonfederally funded solicitationsThe Evaluation references will bepplias followsafter BATAverifies that the responsiveness requirements have been metEvaluation Preferencefive or five (5) points will be added to the total evaluation percentage or pointswhen the Proposermeeting specifications commits to twentyfive percent (25%) SBE participation forthe work (which can be achieved by the prime, by a sub(s), or a combination of prime and sub(s)who meet the requirements set forth in Section B.3 of this SBE ProgramAn Evaluation Preference (10) or ten (10) points will be added to the total evaluation percentage or points, when the Proposer meeting specifications commits to forty percent (40%) SBE participation forthe work which can be achieved by theprime, by a sub(s), or a combination of prime and sub(s)who meet the requirements set forth in Section B.3 of this SBE ProgramAFS staffwillmontorBATASBEProgram confirmthattheConsultants/tors/Vendorsre inompianwiththequirntsof the SBEogrTheport of rds, commentsntswill be the rsi C.2taining ionrojins, itis importnt to hievend maintain t

11 he level of SBE rticipation that allowed
he level of SBE rticipation that allowed the valuationreferencePrimeConsultants/ContractorsVendorsmust mintin BE ps indited in roposalSOQor Biddocuments t thetime ofroposalSOQor Bidsubmittal throuhout therm ofthe ontra ��BATASBE ProgramPage �� &#x/MCI; 0 ;&#x/MCI; 0 ;If BATAmodifis the inal sof rk, theConsultant/ContractorVendormust makesonarts to maintain theipatthat allowed the valuation referenceIn the event of amendmentsAFS stause thir disction to alow djustments tos foramendedtion ofk. Upon rst,BATAwill hlp firmsto detrminemetods ofmaintainingShould the prime Consultant/Contractor/Vendorfail to maintain the SBE participation listed at the time of roposalSOQor Bidsubmittal, BATAreserves the right to enforce Consultant/Contractor/Vendorcompliance with this SBEProgram through one or more of the remedies included in Section D.3 of this SBEProgram. C.3Substiution istd SubontSubstitution of listed ubconsultants/ubcontractorsendorsshall generally be made in accordance with PublicContrts tion 4107.In addition, the SBELO must concur in any decision to permit substitution ofubconsultant/ntrtor/Vendorwhen the award was on the basis of the valuationreference listed in Section C.1 above. C.4ntureAgrntsA business that is ompeting forBATAontrts mssocte ith artifiBE business to compte ts as aointntur(JV)JVsivevaluation reference ndingE percrticition th in Section C.1of Subpart C, Evaluation Preferenceand SBE articipationTherties must nterinto the tionship forst thetermthe oje sic Elnts of th

12 e Joint Venturement must sumit a nt lan
e Joint Venturement must sumit a nt lan nd/or ament in their roposal or SOQ. Eareent or managnt pln must inlude, but is not limitd to theollowtailed plantion ofthe inanialontribution of rtner;ist of thersonnl andquipmused rtntailed bkdown ofsponsibilities ofrtnplantion ofhow theproits andlosss will bedistributription of ther; Manament orntivefeeble of thertnrs Commialful tions (CUF) med oint Vnturertners rtnr must perfom a “ommialfultion”rm is ��BATASBE ProgramPage �� &#x/MCI; 0 ;&#x/MCI; 0 ;defined hin. ABE thon the sourcs andl of aBE irm will not be dmed to pCUF nture quirments rtner must possqualification, certification, accreditation, or nses approte r thediscipline whiroposalSOQor Bid is beingsubmitted.is proposing/biddingojerequiring license or certification, at the timeof ProposalSOQor Bid submittl, eh of the rtnrs ust hold a nseor Certificationss the quisite spialnse or certification that fession tion ofoint Vnture Thertner must clfinetheportion of thek to bemed the pojet. This wok must be ofthe similk thertnms in the norml couf its business. TheroposalSOQor Bid st the portions of the to bemed h individual rtner.ump sum rticiption is not atabl sponsibilities oftheBE oint Vnturertn The rtner must shin theowneip, contol, mnt sponsibilities, risks, its of thein propotion with ll of prticipin theprojhe rtnr mustrk tht is commesurte ith its rtnr mustuse its wn mplquipmnt to ts portion ofthe pojet. Onlythe portionthe toalue ofthetractqualthe disinct,learlydefinedportion

13 theworktheontrathatthes own orcl be ount
theworktheontrathatthes own orcl be ounted toward SBE participation Appliction ofEvaluation Preferenceforoint Vnturements To beibleforEvaluation Preference, at the timeof roposalSOQ or Bid submittl, er must h havequalification, certification, accreditation, or nse tht is apiatethe pt as rquird in theontrument ofthe rd uthori. Unlrmission is nted the SBELO desishown, bd on sudted , the ollowitions not pei) theBE partng wok forthertnr; ii) lipmnt or pthertnom thenonrtnr; nd iii) thehiriof thertnmplthertner. ��BATASBE ProgramPage Othoint VntureConditions TheSBELOmust irst athement/mentPlan bthe is eliibleforvaluationreferences must lso rive thepprol ofthe SBELOddition to y otherinfomation ronditions spin, must povide upon st, canks atherinanrds to BATAC.5CountE PaipatEs mConsultants/Contrtors/Vendorsubconsultantsubcontractorsendors, or 2ndr Subconsultants/Subcontractorsendorsluetheto be medy the SE, inludials nd supplies, l be ounted towrd rticipon.mustialy usfuli.e.,mustsponsbleforthe disinctmentthemustsposibtualmansupevisng theTieror 2Tierubconsultantubcontractorendorise sponssixty percent (6theostontrwithownf theontrr portionof aontrthanwouldbe tedthe bsisindustracthenwillsumedthattheg a CUF ditDealermatls r supplies is d to sixty percentthe mountto be pid o thethesuppliesunlessthemanusubsrs theoods.ditfortedy theionsportionthe mountid.Alltherivelesssubcntrtedtheto nonirms.Duringthe termract,work pby SBE frmswhose haspired wito beunted toward theipaion. ��BATASBE ProgramPage PLIANENT D.1M

14 onitoringWhen a contract is awarded to a
onitoringWhen a contract is awarded to a Consultant/Contractor/Vendorbased on the valuationreference listed in Subpart C, Section C.1 of this Program, AFS will monitor the contract per Subpart D, confirmthattheConsultants/tors/Vendorscomplywithments of the Program.portrticiptheappropriate authorizing boardvia reports ted fm the wd divrsiBATAwillquire Consultants/ontrtors/Vendorsmaintainumentsmentsall ubconsultantsubcontractorsendorsand nonSBEsforfourfollowitheontrt. BATAwillrimreviewsontrmentsEs. Payments to SBE ubconsultantsubcontractorsendorswill be rviewed to verifythat the tual mount pid to ubconsultantsntrtorsendorsls or ds themounted in schdule of rticipincluded in the contract.Subrecipients may be required to submit verification of their eligibility for participation in theSBE Program and to provide annual reports oSBE utilization on Professional Servicor Civil Construction projects achieved under the SBE Program. BATAhas plemfollowig montoringnismonitorConsultant/Contractor/Vendorianwithments: The SBELO or designeewilltedontrtualmedy thes. The SBELO or designee willp a runningtaly of tual pments to firms fr wotedthemthe tme of ontrwiththe use of BATAwebbasedrsiIf Professional Serviceor Construction project has a publicportion of work valued r $1,00.00, the StCodequirConsultants/ontrtors/Vendorsto pir empls in with that apply to that portion of the workTherime ontrtorubconsultantstorsendorsincludi, if applicable, truandownr/opertorsd to submit rtifioll in withr Codetion 1776upon request from BATAto submit rtifi

15 roll reds csult in withholding ofnt(s).U
roll reds csult in withholding ofnt(s).Upon request, Consultants/ontrtors/Vendorswill proide BATAwith uted opies ofits ubconsultantontrtorendorments to vdollmounts stted Es. ��BATASBE ProgramPage �� &#x/MCI; 0 ;&#x/MCI; 0 ;D.2izaionConsultants/Contrtors/Vendorsrequirsubmitmonthly UtitroniMTCAFSThe Consultant/Contractor/Vendorwillumentluementsto thee of the letBATAor tontrt forompianwith quirments.ThisbleompuviatheConsultant/Contrtor/Vendorubconsultantontrtorendorwill mail povidg themwithidenttempoinsuse thestem.lsobe ovidedConsultant/Contrtor/Vendorwillincludequirment inof iontrrs d toovide or vE utiumetation. If the SBE Utiliztion Rports indite potential poblems, such s a failure to omply with the ontrat SBE particiption, the Consultant/ContrtorVendorshall metheBATASBELO or designee iesdiscusspproons. the Contrletion50% he rticipompted isless thantailedthesonsy mustsubmitedBATAstatingplanto rrticipContrt copletion.riorfinnt,Consultant/Contrtor/VendorwillsubmitfinUtiport theAudit”portiwiththe ased iversity racking ntsthe Es,the finreportmustinclude pntsother infomationtherbusinsses,includng ubconsultantsontrtorsendorssupplieof matls nd othe D.3SBEProgram mentBATAblemediiantheSBEments ontaind in ts contrts,includin, but notted to, the owinontrresulting from a violation of the trms ofthe RFPRFQor IFB and ontrAssessment of ltyof up to lf times the mount that should hwarded to(s)rminon of Contrs pemanof the . Any other remedyavailable to BATAn the contract or the relevant RFPRF